Trading

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  1. SEC settles with BlackRock, others over trading infractions

    trueBlackRock Institutional Trust and RA Capital Management were among 19 firms and an individual trader that settled with the SEC over charges they illegally participated in stock offerings less than five days after short selling the stock.

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  1. Canadian provinces agree to uniform capital markets regulations

    trueAn agreement on forming a cooperative capital markets regulatory system was announced this week by Canadian Finance Minister Joe Oliver and ministers of four Canadian provinces.

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  2. CFTC eases restrictions on hedge fund advertising

    trueThe Commodity Futures Trading Commission softened restrictions on advertising by hedge fund managers that are registered as commodity pool operators.

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  3. CFTC says it has evidence of price-rigging on ISDAfix benchmark

    trueDerivatives regulators told the Justice Department they've found evidence of criminal behavior following an investigation into banks' alleged manipulation of ISDAfix, a benchmark used to set rates for trillions of dollars of financial products.

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  4. Alaska pension fund alleges 13 banks colluded on derivatives benchmark

    trueAlaska Electrical Pension Fund, Anchorage, filed a lawsuit Thursday charging that 13 banks conspired to fix the ISDAfix benchmark rate, a “key interest rate for a broad range of interest rate derivatives and other financial instruments,” according to the filing.

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  5. ITG plans to start dark pool for bonds under Posit brand

    trueInvestment Technology Group, operator of one of the oldest U.S. equity dark pools, is expanding into corporate bonds.

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  6. Dark-pool operator IEX Group raises $75 million round of funding

    trueIEX Group has completed a $75 million round of funding led by boutique venture capital firm Spark Capital.

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  7. Questions over dark pools prompt changes in best execution

    trueRecent investigations into dark pools and high-frequency trading are causing institutional investors to reconsider just what constitutes best execution — and how to measure it. And the pressure to convey that to asset owners is falling on money managers and investment consultants.

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  8. Survey finds money managers not meeting compliance best practices

    trueMoney managers and other financial service firms are not putting their money where their mouths are when it comes to compliance, a new survey finds.

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  9. SEC announces pilot program to expand tick sizes for small-cap trades

    trueThe SEC on Tuesday announced a one-year pilot program to widen minimum tick sizes for small-cap stocks.

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  10. CFTC appoints new secretary

    trueChristopher J. Kirkpatrick was named secretary of the Commodity Futures Trading Commission.

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  11. High-speed traders enlist former CFTC commissioner to improve image

    trueFormer U.S. Commodity Futures Trading Commission member Bart Chilton, an outspoken critic of some high-speed trading practices while at the agency, has been enlisted in a Washington-based effort to improve the image of an industry beset by regulatory and legislative scrutiny.

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  12. Asset owners mull tightening control on trade execution

    trueAsset owners are paying a lot more attention to where their money managers execute trades — decisions that have generally been left to the discretion of the managers — and some are considering directing their managers to avoid specific venues.

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  13. TradeWatch for August 18, 2014

     

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